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HR investigations – Operating practices

VCU HR Office of Employee Relations provides advice and guidance to staff employees and their managers to assist with the resolution of workplace disputes, complaints or concerns, including employee behavior and conduct that do not appear to comport with the VCU Code of Conduct and other VCU employment policies. Workplace disputes, complaints and concerns often require a determination of facts and a recommended path forward from an unbiased, neutral source. The VCU HR Office of Employee Relations serves this role at the university. 

The Office of Employee Relations also works closely with our HR partners, including but not limited to the HR Professionals, the Office of Integrity and Compliance, and the Office of Equity and Access Services, to provide advice and guidance about workplace disputes, complaints or concerns and these partners provide assistance as needed with a determination of facts and a recommended path forward for the employees and their division or school.

Process

A workplace dispute, complaint or concern may originate from any of the following sources:

  • An employee
  • An employee on behalf of another employee(s)
  • A student
  • A former employee
  • VCU HR also receives employee concerns and complaints from several sources, including but not limited to other employees, HR Professionals, the Office of Equity and Access Services, the Office of Integrity and Compliance, and through reporting systems, including but not limited to Convercent and Maxient. 

VCU employee complaints, concerns or disputes are reviewed promptly and thoroughly by VCU HR Office of Employee Relations staff and related need-to-know partners, including but not limited to the Office of Equity and Access Services, the Office of Integrity and Compliance and relevant HR Professionals. If the workplace dispute, complaint or concern involves a threat of harm or danger to an employee(s) or the university community, VCU HR Office of Employee Relations will notify the university’s Threat Assessment Team (TAT). TAT meets weekly and can be convened more frequently as needed. 

Only those individuals who need to know about the workplace dispute, complaint or concern will be contacted and provided with sensitive or confidential personnel information to the extent necessary to resolve the dispute, complaint or concern.

The Office of Employee Relations (and its partners if necessary) will make an initial determination that the workplace dispute, complaint or concern may violate the VCU Code of Conduct or other applicable VCU employment policies and that a fact-finding investigation is necessary to maintain a safe and productive workplace. 

When it is determined that a fact-finding investigation is necessary to maintain a safe and productive workplace, the Office or Employee Relations and relevant HR Professionals will conduct a thorough fact-finding investigation. Depending upon the complaint or concern, the Office of Employee Relations may also conduct a joint fact-finding investigation with the Office of Equity and Access Services. See the Policy Application infographic for further guidance.

These fact-finding investigations consist of the gathering and review of all relevant evidence, including but not limited to the following:

  • Documents (electronic and hard copy), 
  • Interviews (in-person or virtually if possible) with any employee who has relevant knowledge or information about the dispute, complaint or concern; 
  • Any other facts to determine whether there has been a violation of the VCU Code of Conduct or other relevant VCU policies.

Standard of Proof

The standard of proof used in the HR fact-finding investigations is one of preponderance of the evidence (when a concern or claim can be demonstrated to be more likely to be true than not true) from all of the facts gathered. The credibility of documents and employee or witness statements will be assessed in determining findings of facts using this standard of proof. 

Recommendations

At the conclusion of an HR fact-finding investigation, the Office of Employee Relations will provide its findings based on the evidence gathered in a report to the division or school leadership. The report will also include personnel recommendations to the division or school leadership based on the findings. HR’s recommendations may include training, coaching, informal or formal dispute resolution or formal disciplinary action, including termination from employment.

Follow-up

The Office of Employee Relations will promptly follow up on its recommendations to the school or division to assist with the implementation of any dispute resolution or corrective action.